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Skills for Successful Supervision

A Primer of Basic Supervisory Skills and TechniquesDAY TWO

Stronger Families for a Stronger Georgia 11/11/11(Date)

Agenda

• Ethics and Values

• Holding Employees Accountable

• Effective Discipline

• Employment Laws & HR Policies

• Dispute Resolution

• Short Scenarios & Case Studies

Georgia Department of Human Services

Ethics

• Ethics – The rules or standards governing the conduct of the members of a profession.

• Ethics in government is critical to maintaining the Trust of the Public.

• Failure to behave in an ethical manner is a common criticism of politicians and others in the public sector.


Ethical Behavior in the Workplace

A strong ethical culture within the Agency is important in safeguarding your assets. Employees who abide by workplace ethics are more likely to protect and respect State assets.


DHS Employee Relations Values

• Handout: Employee Relations Values

• Exercise: Identify the Values


Creating an Ethical Environment

Modeling ethical behavior can:

• Increase pride, professionalism and productivity

• Increase employee willingness to report misconduct

• Improve trust and respect at all levels

• Protect the positive reputation of the organization

• Foster a positive work culture and improved customer service

• Reduce pressures on employees to compromise ethical standards


Holding Employees Accountable

An important function of your position as supervisor is to hold your employees accountable:

• Accountable: Accepts full responsibility for self and contribution as a team member; displays honesty and truthfulness; displays a strong commitment to organizational success and inspires others.


##Employees should be held accountable

in the areas of:

• Conduct

• Attendance

• Performance

All three are necessary!


Early Intervention

• Critical to the progressive discipline process.

• Intervene in all areas:o Conduct

o Attendance

o Performance


Attendance

• Most basic of all conditions of employment

• Considered one of the “essential functions” of the job

• If an employee is not at work, then he cannot perform his duties


Conduct• Being responsive to supervisory direction

and feedback

• Avoiding argumentative, loud, rude and offensive language and/behavior

• Dressing in a clean and neat manner which is appropriate for the setting

• Working cooperatively with colleagues

• Complying with all instructions from supervisors and managers


Performance

• Accurate, complete and timely work

• Appropriate interactions with clients

• Complying with performance standards

• Following programmatic policies and procedures

• Meeting deadlines

• Clarifying instructions and procedures when

appropriate


Discipline


##Elements of Effective Employee Discipline

• Communication

• Coaching

• Factual Integrity

• Documentation

• Consistency

• Progressive Discipline

• Employee Rights & Privileges


Communication

N – Notice: clear statement of the

problem

E – Expectations: what it will take to

correct problem

W – Warning: what will be the

consequences of non-compliance


Coaching

• Use active listening skills

• Keep an open mind

• Take a collaborative approach

• Focus on win-win solutions

• Be courteous and respectful

• Respond, don’t react

• Help the employee to understand and commit to necessary improvements


##Fact Finding

• Investigate all complaints

• Interview all involved

• Get written statements if necessary

• Review appropriate documents

• Determine witness credibility

• Get the employee’s side of the story



The Importance of Documentation

How to Document

• Do it promptly

• Write clear, concise & accurate information

• Date all entries and documents

• Witness statements, if necessary


How to Document

Describe the discussion with your

employee:

• Demeanor

• Comments/Questions

• Reach Agreement

• Follow up scheduled


Documentation should include:

• What occurred

• When it occurred

• Frequency of issue

• Communication following issue

• When communication was done

• What has been the impact on the work, the group and/or client


Slide Title Goes Here


Keeping Documentation

• Include pertinent materials, reports, etc.

• Include copies of group directives

• Keep copies of all corrective and disciplinary actions.

• Keep pertinent information as long as you keep the employee.

• Give productivity file to the next Supervisor.


Importance of Documentation

Accurate and complete documentation supports challenges to the action:

• Classified appeal

• UI Hearing

• Litigation

• EEOC Charge

• Complaint to higher level management or political representative


Consistency• Fairness to everyone-apply ER values

• Treat employees with similar work histories and similar offenses in a similar manner

• All issues should consistently be addressed

• Every case is different

• Consider individual circumstances

• Be consistent but not rigid


Decision Factors

• Severity of the offense

• Impact on clients

• Prior disciplinary/corrective action

• Performance Evaluations

• Length of service

• Mitigating circumstances

• Evidence of intent


Progressive Discipline

• What is it?

• What is its purpose?

• What are the steps?


Progressive Discipline

• Begin with the least severe penalty

that will have the desired effect

• All the steps do not need to be followed when offenses are severe

• Give sufficient time for improvement

• Move through the process quickly if expectations are not met

• Remember that the purpose of discipline is to salvage the employee


Corrective Actions

• Conversation (document0

• Attendance Plan

• Work Plan

• Memo of Concern and Expectations

• Unauthorized leave without pay

• More frequent use of interim evaluations, monthly or quarterly


Disciplinary Actions

• Written Reprimand

• Written Reprimand/Final Warning

• Separation/Dismissal

• Suspension without pay *

• Demotion

* rarely used in unclassified service


##Grounds for Disciplinary Action• Negligence and inefficiency in the

performance of assigned duties

• Chronic tardiness or absenteeism

• Misconduct

• Conduct reflecting discredit on the department

• Failure to report for or remain at work

without justifiable cause


Grounds for Disciplinary Action

• Inability or unfitness to perform assigned

duties

• Insubordination

• Prohibited political activity

• Commission of a felony or crime of moral turpitude


Case Study

1. Review sheet titled “Case Studies –Process,” then review and discuss case study.

2. Document your responses on “Case Study Worksheet – Report Out Questions.”

3. Choose one person to report out.



Key Employment Laws

Employment Laws

EEO: Equal Employment Opportunity

Sexual Harassment

ADA: Americans with Disabilities Act

FMLA: Family and Medical Leave Act

FLSA: Fair Labor Standards Act


Diversity

• DHS solicits, welcomes, includes and values the contributions of all employees and creates and fosters the rich diversity of its employees, community and customers

• DHS is an Equal Opportunity Employer and does not discriminate on the basis of race, color, age, sex, gender, religion, national origin or disability nor does it tolerate retaliation against employees for engaging in protected activity


Discrimination Complaints

• Internal-OHR investigates

• External-GCEO or EEOC investigate

• Grounds: race, sex, age, gender, color, national origin, religion, disability, retaliation

• OHR responds to all GCEO/EEOC charges-very tight time frames


Americans with Disabilities Act

• DHS position is to provide reasonableaccommodation to all employees when it does not create an undue hardship

• Employee must be able to perform essential functions of the position

• Dialogue with employee; specific time frames; written request; documentation

• Management responds in writing

• Consult OHR Regional Manager


Sexual Harassment

• Management must act if they become aware of an allegation

• Harassment must be unwelcome and offensive to the complainant

• Harassment must be pervasive

• Often is misconduct when it doesn’t fit harassment definition

• Consult OHR Regional Manager


Scenario

An employee under your supervision walks into your office and tells you he wants to discuss something with you in confidence. He mentions that a female colleague has continued to ask him out to dinner though he has repeatedly declined her request; invited him over to her house so that he can “get to know her better;” and touched his rear end on several occasions but explain to him it was an accident. He mentions that he doesn’t want anything to be done to the colleague because he has handled the problems himself by repeatedly making her aware that her actions are unwelcome. He just wanted to vent.

Question: What do you do?



Family Medical Leave Act(FMLA)

What is FMLA 12 Weeks of Job Protected Time Off

• Federal law

• Employee entitlement

• Complex rules

• Little room for discretion

• Violations cause liability to the department

• Can have a negative effect on productivity


Paid time off

• FML is UNPAID leave time.

• Employee’s job is protected during leave.

• Employees may use annual, sick, personal and comp time during the FML.


##FMLA Eligibility

12 months state service (not consecutive)

Worked 1250 actual hours in last 12

months

Rolling Calendar Year

Spouse employed by same employer


##Qualification Reasons

– Pregnancy/Adoption/Foster Child

– Serious health condition of:

• employee

• child under 18

• spouse

• parents


##Serious Health Condition is an illness,

injury, impairment, or physical or mental

condition certified by the employees’

health care provider.

Response in writing within 15 days.

Recertification may be required every 30

days.


2008 Amendment

NDAA amended FMLA in 2008

Created 2 new categories of leave: Qualifying exigency Military caregiver leave


Qualifying Exigency

An employee whose spouse, son, daughter or

parent either has been notified of an impending

call or order to active military duty or who is

already on active duty may take up to 12 weeks

of leave for reason related to or affected by the

family member’s call-up or service when it

constitutes a qualifying exigency.


Qualifying Exigencies

Short notice deployment

Military events and related activities

Childcare and school activities

Financial and legal arrangements

Counseling, rest and recuperation

Post-deployment activities

Additional activities to address other events that arise out of

the covered service member’s active duty or call to active

duty status

DHS and employee must agree that such leave shall qualify as an exigency

and agree to both the timing and duration of the leave. The leave may

commence as soon as the individual receives the call-up notice


Recent FMLA Law Changes

Addition of qualifying reasons

– Family member’s call to active duty

– Care of an injured service member (up to

26 weeks)

– Spouse, son, daughter, parent

or nearest blood relative

– Must meet all other criteria

**Currently use the rolling year**


Approval Process

Planned-30 days notice

Unplanned-ASAP

Conditional- approved contingent upon

certification of health care provider

Designated- placed on FML because

employer is aware of need

3 day rule guideline only


Approval Process

Complete FML Certification of Serious Health Condition.

Submit forms to Supervisor and OHR• Serious Health condition form• Medical documentation• Time/Leave card

All approval letters must come from OHR.


Intermittent FMLA Leave

May be required to transfer to an alternative

work schedule

If intermittent leave does not allow the

employee to perform the essential functions

of the position, then place on full-time

FMLA Leave

Must be returned to former or equivalent

position


Keep in Mind

Supervisors must comply with FML

requests.

Unlawful to discharge or discriminate

against employees because of FML

request

Disciplinary Action may still take place –

Always contact OHR.


Short ScenarioAn employee under your supervision just

submitted a request for 12 weeks of FML to be with her adult daughter who just had a baby. The documentation does not indicate that there were any issues with delivery that require the employees’ presence. The documentation simply indicates that the daughter gave birth recently and will need to be out of work for the next eight weeks.

What should be done in this situation?



Fair Labor Standards Act

##FLSA-THE BASICS

Federal law

Employees are either exempt from the FLSA or

non-exempt

Exempt/non-exempt designation is done by

OHR based on the actual job duties


##FLSA-Time Worked

All time present at work station

Breaks are work time

Eating lunch is work time if it is not taken

away from work station and free of all

duties

Unapproved overtime if actually worked


FLSA Non-Exempt Employees

Time sheets must record actual time

worked

Adjustments must be made within the

WORK PERIOD (designated 7day

work week) not the pay period


##FLSA OVERTIME

Time worked in excess of 40 actual work hours during the work period

Prior approval is required

If no approval, time is counted but corrective/disciplinary action justified

Overtime is compensated at time and a half

240 hours overtime and below = compensatory time, above = paid time


FLSA COMP TIME

Must be used in lieu of annual leave

May be used in lieu of sick or personal

Cannot be transferred between state agencies

or different DHS organizational units – payment

must be made


ACCOUNTABILITY

Neither allow nor direct modification of time

sheets to reflect hours different from time

actually worked

Evaluate employees on their PMF regarding

FLSA compliance

Expect to be evaluated by your manager on

your monitoring of FLSA compliance


HR Policy

Website Address:

http://odis.dhs.ga.gov/Viewdocument.aspx?docid=3004010&verid=1


http://odis.dhs.ga.gov/Viewdocument.aspx?docid=3004010&verid=1


Standards of Conduct

Conduct: Insist on ProfessionalismPolicy #1201

Standards of Conduct includes:

– Conflict of Interest

– Confidential information and disclosure

– Activities and relationships with clients

– Interactions with colleagues

– Conditions of employment

– Use of State Property


Key Points

Do not use state cell phone for personal calls or make non-business related long distance calls on work phones

Do not work under the influence of or possess alcohol or illegal drugs while on duty

Do not wear any attire promoting a particular moral, political, religious, personal or other opinion which is vulgar, offensive or inflammatory

Restrict personal use of state computers and office phones to infrequent use of short duration



Dress Code – Policy 1205a

Georgia Department of Human Services | 69

Policy #1201: Dress Code Guidelines

• Effective Date: January 1, 2015

• Goal: To create a professional culture throughout the organization

• New Practices: Three categories for daily appearance of employees:

• Business Professional – (Mondays through Thursdays)

• Business Casual - (permitted on Fridays)

• Environmental Attire - (contingent upon work environment)

• Guidelines determined by DHS Leadership with input from employee focus groups (DFCS, DCSS, and DAS, Administrative)

• Leadership communicates any changes to dress code throughout the year

Office of Human Resources 11/14/16


Examples of Appropriate Attire for Women

• Suits, dresses, skirts with dressy sweaters or blouses

• A jacket with a sleeveless blouse and skirt or dress slacks

• A matching suit or blazer with slacks

• Slacks and a dressy short or long sleeve shirt

• Comfortable dress shoes

• Open toed shoes allowed, if dressy in style (leather or fabric); no flip-flops

• “Mule” type backless shoes only if dressy in style



Examples of Appropriate Attire for Men

• Suit worn with a collared shirt and tie

• Dress slacks and sport coat worn with a collared shirt and tie

• Dress slacks and long sleeved sweater

• "Dockers-type” slacks and knitted sweater vest (with or without sleeves) worn with a collared shirt and tie

• Dress shoes, loafers



Inappropriate Attire for Men and Women


• Jeans or denim that is too tight, saggy, or

ripped; skinny jeans

• Sweatpants, exercise pants, leggings, and

any spandex or other form-fitting pants

• Short and/or tight skirts, miniskirts, shorts,

Bermuda shorts, skorts, sun dresses, beach

dresses, and spaghetti strap dresses

• Bib overalls, or garments that cause undue

attention to anatomical features and/or details

of the individual

• Tank tops; midriff tops; shirts with

potentially offensive words, terms,

logos, pictures, cartoons, or slogans;

halter-tops, tops that expose bare

shoulders; sweatshirts, and T-shirts

unless worn under another blouse,

shirt, jacket or dress

• Bright colored athletic shoes, flip-

flops, slippers (to include thong

slippers), or plastic shoes

Examples include, but are not limited to:


Court Attire

• Business professional attire is preferred for any appearance in court, whether as a participant in a case, a witness or an observer.

• Professional attire helps maintain decorum, shows respect for our laws and courts.

• All DHS employees are prohibited to wear environmental attire in any courtroom



General Appearance

• Hair care and accessories • Hair should be clean, combed, and neatly trimmed or arranged

• Purple, blue, orange, green, pink, and yellow colored hair is deemed unacceptable in any DHS work environment

• Piercings and Body Art• To ensure a professional appearance, proper hygiene and safety, visible body

art, tattoos, and body piercings (with the exception of earrings) are not allowed

• Any cost for covering or removal of body art, tattoos, or body piercings is the responsibility of the employee

• Jewelry and make-up should be in good taste

• Perfumes/colognes should not be excessive or offensive

• Any item that causes undue attention to anatomical features of an individual is strictly prohibited.



Reasonable Accommodation for Religious Practices

• Hairstyles, head coverings, clothing, body art, and/or accessories associated with religious practices will be given appropriate consideration for reasonable accommodation based on:

• Nature of the job

• Supporting documentation



LEAVE

Policy #1006

Work Hours

The official work hours of the Department of Human

Services are from 8:00 a.m. to 5:00 p.m., Monday

through Friday.

Alternative Work Schedules:

Flex Time

9 – Hour Day

10 – Hour Day /compressed work schedule

Teleworking


Annual Leave Policy #1006

Supervisors should make reasonable efforts

to grant employees’ annual leave requests:

• disrupt work schedules,

• leave an office uncovered,

• inconvenience the work force or public, or

• contribute to employees' not meeting

performance expectations


Sick Leave Facts #1006

Sick Leave Qualifications: • Personal illness or Injury

• Contagious Condition

• Medical or Dental Care

• Health care, illness, accident or death of immediate family member

Immediate Family :• Spouse, child, parent, sibling

• Person who resides in employee’s house AND is recognized by law as a dependent.



Leave for death in the family:

– No specific Bereavement Leave.

May use sick leave for Immediate family

member.

– Generally, sick leave due to the death of a

family member should not exceed five (5) work

days unless the employee is under the care of

a health care provider due to a serious health

condition



Eligible employees can accumulate up to a maximum of 720 hours of

sick leave.

Any sick leave in excess of 720 hours is placed in a forfeited status.

Must provide Medical Documentation:

• Pattern of abuse of leave: in conjunction with holidays, days

off, pay days.

• Use of more than 17 hours in a 30 day calendar period.

• Currently on an Attendance Plan.



Sick leave for medical or dental care should be limited to the time necessary for the appointment(s) and related travel.

Employees who are receiving Short-term or Long-term Disability Insurance benefits through the Flexible Benefits Program cannot use sick leave at the same time.



When there is a break in service, accrued sick leave

balances are generally lost Forfeited leave is also

lost when there is a break in service.

If employees return to State government, lost sick

leave balances and forfeited sick leave may be used

for retirement credit purposes.


Leave Without Pay #1007

Approved Leave Without Pay: when absence

from work is due to qualifying serious health

condition of employee or family member.

Position will be held.

Contingent Leave - Leaves of absence without pay

for medical reasons when the employee is

reasonably expected to be able to return to work.

Position not held.


Management Authority

Direct the workforce in accomplishing the mission of

the Department

– Determine work hours and job location

– Assign duties and responsibilities

– Give instructions and directives

– Schedule leave

– Evaluate performance

– Take corrective/disciplinary action


Assignment of Duties #101

Managers may:

Assign

Change

Take from, add to, or eliminate

entirely employee duties and

responsibilities as necessary.


A Word About Teleworking

• All DHS supervisors who supervise teleworkers must complete the on-line Teleworking Course

• Accountability is critical

• Demonstrated documented work products and results

• Management engagement and oversight

• Work-away program Best Practices are imbedded

• Appropriate foundational basis

• Review work away agreement once a year


Dispute Resolution


Other Dispute Resolution Procedures

Rebuttal of reprimands (unclassified)

Reprimand review (classified)

Review of performance plan

Review of less than satisfactory rating

resulting in denial of annual increase

Unlawful discrimination complaint

Appeal to higher level management


Grievable Issues

Retaliation

Erroneous, arbitrary or capricious interpretation or application of HR policies

Unsafe or unhealthy working conditions

Allegations of harassment


Non-Grievable Issues

Performance responsibilities, expectations and evaluations

Changes in work hours and job duties

Budget and organizational structure

Corrective and disciplinary actions

Internal security practices

Selection and Relocation


Classified vs Unclassified Position• Employees hired prior to July 1, 1996, are in classified positions

• Covered by the Rules of the State Personnel Board

• Can appeal employment actions to the State Personnel Board

• Employees hired on or after July 1, 1996, are in unclassified positions• Most of current state workforce are in unclassified positions

• Unclassified employees are not covered by the Rules of the State Personnel Board

• Cannot appeal employment actions to the State Personnel Board

• Georgia is an “employment-at-will” state• Employees in unclassified positions serve at the discretion of the Department


What are Best Practices?

Put ER values in operation

Principles which serve as guidelines in

determining and implementing corrective and

disciplinary actions

Practices which facilitate the accomplishment of

the mission and goals of DHS


On-Line

•Employee Relations Tool Kit

•It’s About Time Module

•Employee Relations Best Practices Module

•Policy Website


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